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Practical and high value regulatory solutions | About Us

FCA Compliance Solutions.

Help At Every Step

Consultancy is the bedrock of FCA Compliance Consultants.

FCA Compliance Consultants is a professional services firm specialising in the delivery of Risk and Regulatory Transformation within the Financial Services sector. We were established to provide clients with a progressive and compelling alternative to traditional consulting models, and since inception, have earned a reputation for outstanding execution and value.

Our clients include leading FX, Investment, Banking, Insurance and Asset Management groups with whom we partner to deliver large and complex change arising from new financial regulation and structural reform within the industry. Our focused service offering, commitment to quality; combined with the experience of our consultants has driven significant improvements for our clients.

We can help financial services start-ups get a licence to trade from the Financial Conduct Authority and provide a range of health check services on FCA compliance and anti-money laundering. Key consultancy offerings are below:

  • Preparing for FCA visits
  • CASS Health Checks/GAP Analysis
  • ICAAP & RRP Production
  • FCA Returns inc COREP,CMAR
  • Compliance manuals
  • Outsourced compliance support
  • Advisory/Monitoring
  • Complaints Handling
  • Promotion sign off

CASS: Helping You Bridge The Gaps

The FCA’s new Client Assets (CASS) rules require firms to make significant operational changes to the way they handle client money and custody assets.

Firms need to address these changes and ensure they have fully assessed their CASS risks and are in compliance with the FCA’s new rules to meet the expectations of the FCA their clients and their investors.

Our CASS team offers specialised expert advice and support to banks, brokers, asset managers and insurance intermediaries. We can help you assess and manage your CASS risks by providing a wide range of CASS advice and support including:

  • Designing, implementing and managing change programmes to integrate CASS changes
  • Implementing or upgrading risk management frameworks and governance arrangements
  • Delivering skilled person reports in line with FCA’s Section 166 requirement notices and performing shadow skilled person reviews as may be required by firms
  • Providing third party assurance on CASS
  • Preparing for regulatory visits
  • Remediating CASS breaches
  • Carrying out CASS health checks (including CASS governance arrangements)
  • Testing CASS resolution pack robustness
  • Helping internal audit teams review CASS compliance
  • Fulfilling reporting requirements, including CMAR preparation
  • Providing classroom and e-learning training for staff on CASS

Through our extensive CASS audit and advisory work, our CASS Advisory team has developed a deep understanding of the challenges firms face in ensuring their clients’ assets are adequately protected. We can bring this experience to bear to help you assess and manage your CASS risks to improve your compliance and adapt to the changing environment in an efficient and cost-effective way.

Preparing for FSA visits

There are a number of reasons why the FCA will visit your firm, and when they do it can be a very intrusive and not always pleasant experience. There are also times when the FCA may show an interest in your firm and then decide a visit is not needed, which may come as a relief but can leave you out of pocket if you take the wrong advice only to find it’s not required.

We can help you prepare for an FCA visit whether they are an existing client or not. This is about understanding how to articulate the way you carry out your business and if you can demonstrate to the FCA that you are honest and are putting in place systems and controls to ensure you remain compliant then it won’t be so painful. We will help you identify before the visit those areas where you are likely to get picked up on, giving you time to prepare and correct if possible.
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